Laws and Regulations Terms

  1. Jumpstart Our Business Startups Act - JOBS

  2. Jurisdiction Risk

  3. Katie Couric Clause

  4. Large Trader

  5. Legal Lending Limit

  6. Legal Rate Of Interest

  7. Legend

  8. Legislative Overkill

  9. Letter Of Comment

  10. Letters Patent

  11. Lilly Ledbetter Fair Pay Act

  12. Limited Power Of Attorney - LPOA

  13. Liquidated Damages

  14. Listing Requirements

  15. Locked Market

  16. Loophole

  17. Loss Disallowance Rule - LDR

  18. Maintenance Margin

  19. Malfeasance

  20. Market Capitalization Rule

  21. Market Performance Committee

  22. Markets in Financial Instruments Directive - MiFID

  23. Master-Servant Rule

  24. Material Insider Information

  25. Mechanic's Lien

  26. Mineral Rights

  27. Minimum-Interest Rules

  28. Misappropriation Theory

  29. Multijurisdictional Disclosure System - MJDS

  30. National Association Of Securities Dealers - NASD

  31. National Market System Plan - NMSP

  32. National Treatment

  33. NCUA-Insured Institution

  34. Nevada Corporation

  35. No-Shop Clause

  36. Non-Covered Security

  37. Non-Disclosure Agreement - NDA

  38. Non-Negotiable

  39. Non-Open Market

  40. Non-Resident

  41. Nonfeasance

  42. Nonresident Alien

  43. Notice Filing

  44. Novation

  45. Office Of Thrift Supervision - OTS

  46. Oil Pollution Act Of 1990

  47. Ombudsman

  48. Ontario Securities Commission - OSC

  49. Open-Market Transaction

  50. Option Schedule

  51. Options Backdating

  52. Options Clearing Corporation - OCC

  53. Order Protection Rule

  54. Organic Act of the Department of Labor

  55. Over-The-Counter Bulletin Board - OTCBB

  56. Patent

  57. Patent Reexamination

  58. Periodic Payment Plan Certificate

  59. Poop

  60. Power Of Attorney

  61. Power of Attorney of Property

  62. Pre-Syndicate Bid

  63. Preliminary Prospectus

  64. Preparer Tax Identification Number - PTIN

  65. Price Cap Regulation

  66. Primary Exchange

  67. Principal-Agent Relationship

  68. Private Securities Litigation Reform Act – PSLRA

  69. Pro-Tanto

  70. Promissory Estoppel

  71. Proxy Statement

  72. Prudent Investor Act

  73. Prudent Investor Rule

  74. Prudent-Person Rule

  75. Public Offering

  76. Pujo Committee

  77. Punitive Damages

  78. Qualified Domestic Relations Order - QDRO

  79. Qualified Institutional Buyer - QIB

  80. Quiet Filing

  81. Quiet Period

  82. Quiet Title Action

  83. Rate Of Return Regulation

  84. Recourse

  85. Registered Investment Advisor - RIA

  86. Registrar

  87. Regulation 9

  88. Regulation A

  89. Regulation AA

  90. Regulation B

  91. Regulation BB

  92. Regulation C

  93. Regulation CC

  94. Regulation D - Reg D

  95. Regulation DD

  96. Regulation E

  97. Regulation EE

  98. Regulation F

  99. Regulation Fair Disclosure - Reg FD

  100. Regulation G

Hot Definitions
  1. Takeover

    A corporate action where an acquiring company makes a bid for an acquiree. If the target company is publicly traded, the acquiring company will make an offer for the outstanding shares.
  2. Harvest Strategy

    A strategy in which investment in a particular line of business is reduced or eliminated because the revenue brought in by additional investment would not warrant the expense. A harvest strategy is employed when a line of business is considered to be a cash cow, meaning that the brand is mature and is unlikely to grow if more investment is added.
  3. Stop-Limit Order

    An order placed with a broker that combines the features of stop order with those of a limit order. A stop-limit order will be executed at a specified price (or better) after a given stop price has been reached. Once the stop price is reached, the stop-limit order becomes a limit order to buy (or sell) at the limit price or better.
  4. Pareto Principle

    A principle, named after economist Vilfredo Pareto, that specifies an unequal relationship between inputs and outputs. The principle states that, for many phenomena, 20% of invested input is responsible for 80% of the results obtained. Put another way, 80% of consequences stem from 20% of the causes.
  5. Pareto Principle

    A principle, named after economist Vilfredo Pareto, that specifies an unequal relationship between inputs and outputs. The principle states that, for many phenomena, 20% of invested input is responsible for 80% of the results obtained. Put another way, 80% of consequences stem from 20% of the causes.
  6. Budget Deficit

    A status of financial health in which expenditures exceed revenue. The term "budget deficit" is most commonly used to refer to government spending rather than business or individual spending. When referring to accrued federal government deficits, the term "national debt” is used.
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